TITLEXI—CORPORATEFRAUDACCOUNTABILITY第十一章7.ppt

TITLE XI—CORPORATE FRAUDACCOUNTABILITY第十一章 公司欺诈责任 SEC. 1101. SHORT TITLE. This title may be cited as the‘‘Corporate Fraud Accountability Act of 2002’’. 第1101节 小标题 本章标题也可为“2002年公司欺诈责任法案”。 SEC. 1102. TAMPERING WITH A RECORD OR OTHERWISE IMPEDING AN OFFICIAL PROCEEDING. Section 1512 of title 18, United States Code, is amended— 第1102节 篡改记录或者阻止官方调查 修订美国法典第1512节第18章—— (1) by redesignating subsections (c) through (i) as subsections (d) through (j), respectively; and (1) 分别将小节(c)到(i) 重排成(d)到(j)；和 (2) by inserting after subsection (b) the following new subsection: (2) 在(b)小节后插入新小节： ‘‘(c) Whoever corruptly— “(c) 无论是谁卑劣地—— ‘‘(1) alters, destroys, mutilates, or conceals a record, document, or other object, or attempts to do so, with the intent to impair the object’s integrity or availability for use in an official proceeding; or (1) 改变、销毁、篡改或隐匿记录、文件或其它对象，或企图这样做，以阻碍官方调查中得到对象和破坏对象的完整性为目的；或 ‘‘(2) otherwise obstructs, influences, or impedes any official proceeding, or attempts to do so,shall be fined under this title or imprisoned not more than 20 years, or both.’’ (2) 其它的妨碍、影响或阻止官方调查，或企图这样做，应该被处以罚款，最多20年的监禁，或并罚。” SEC. 1103. TEMPORARY FREEZE AUTHORITY FOR THE SECURITIES AND EXCHANGE COMMISSION. 第1103节 SEC的暂时冻结权 (a) IN GENERAL.—Section 21C(c) of the Securities Exchange Act of 1934 (15 U.S.C. 78u–3(c)) is amended by adding at the end the following: （a）总论。——修订1934年证券交易法第21C(c)节，在结尾增加： ‘‘(3) TEMPORARY FREEZE.—“(3) 暂时冻结。—— ‘‘(A) IN GENERAL.— (A) 总论。—— ‘‘(i) ISSUANCE OF TEMPORARY ORDER.—Whenever,during the course of a lawful investigation involving possible violations of the Federal securities laws by an issuer of publicly traded securities or any of its directors, officers, partners, controlling persons, agents, or employees, (i) 临时命令的签发——在对公众证券的发行人和它的董事、管理人员、合伙人、主管、代理人或雇员进行可能涉及违反联邦证券法的司法调查过程中， it shall appear to the Commission that it is likely that the issuer will make extraordinary payments (whether compensation or otherwise) to any of the foregoing persons, the Commissio